series 6 study time

series 6 study time

The Series 6 is for professionals who are limited to soliciting mutual funds, variable annuities, and initial offerings of closed‐end funds.

FIRE's Series 6 Exam Prep Features

  • Online self-study modules
  • Recorded web tutorial sessions
  • Online quizzes and Final exams. Your average score on our final exams is typically within 3 points of your actual score
  • FIRE's Green Light plan ensuring you stay on track (90%+ pass rate)
  • Free on-demand printing of online materials
  • Unlimited toll-free telephone and email access to our expert trainers

FIRE's exclusive Green Light plan is designed to maximize your chances of passing your exam by ensuring your training remains on schedule, gauges your readiness and promotes confidence. A Green Light certificate is issued by completing 100% of the module quizzes and exams and averaging at least the minimum passing score on your first attempt. Students that achieve a Green Light pass their exams over 90% of the time!

  • Equities
  • Corporate Bonds
  • Government Securities
  • Municipal Securities
  • Securities Markets
  • Economic Markets
  • Investment Companies
  • Variable Contracts & Retirement Plans
  • Taxation
  • Customer Accounts
  • FINRA Rules
  • Federal & State Regulations

Exam Prep Study Time = 75 hours

You will have 2 hours and 15 minutes to complete the 100-question exam with a passing score of 70%.

The Financial Industry Regulatory Authority, FINRA administers the qualification examinations. If you have questions about the Series 6 exam, you may find more information on the FINRA Regulators website at www.finra.org.

You must file a Form U-4 with FINRA to open an exam window. This is usually done via your sponsoring firm's registration/licensing department. Once your form is approved by FINRA, which usually takes two weeks, you will be given a 120-day window in which to take your exam. You may download forms from the FINRA Regulation, Inc. website at www.finra.org.

The exam is given through testing centers across the country. To schedule an appointment with the nearest center, please contact your compliance department for directions.

Questions on the Series 6 Exam

  • Mutual Funds 35
  • Rules and Regulations 26
  • Insurance Products 24
  • Other 15

How to Schedule Your Exam

To take the Series 6 exam, your firm must first file your Form U-4 and open a window with FINRA. Once that window is open, you may schedule your exam by contacting either of the testing centers authorized to administer the Series 6 on behalf of FINRA:

You will find out if you passed the exam as soon as you submit it, and you will be provided with a printout of your results. The testing center will notify FINRA of your results, and FINRA will make the information available to your firm via WebCRD, FINRA's Central Registration Depository.

Series 6 Exam Flashcards Study System

Includes Series 6 Practice Test Questions

Learn How to Quickly Solve Difficult

Series 6 Test Questions

If you are interested in a different Series test, we've developed flashcards for most of the FINRA Exam series.

Here's a little secret about the Series 6 Examination: the Series 6 Test is what we in the test preparation field call a content-driven test.

While some tests are looking to see what you are ABLE to learn, the purpose of the Investment Company Products/Variable Contracts Limited Representative Qualification Examination, offered by the Financial Industry Regulatory Authority (FINRA), is to test your understanding of what you have already learned. The goal of the Series 6 Test is to use a standardized testing process to create an objective assessment of a test taker's knowledge and skills.

In other words, it's more about what you know than your ability to solve clever puzzles. This is good news for those who are serious about being prepared, because it boils down to a very simple strategy:

You can succeed on the Series 6 Test and become a Investment Company Products/Variable Contracts Limited Representative by learning critical concepts on the test so that you are prepared for as many questions as possible.

Repetition and thorough preparation is a process that rewards those who are serious about being prepared, which means that succeeding on the Series 6 Test is within the reach of virtually anyone interested in learning the material.

This is great news! It means that if you've been worried about your upcoming Series 6 Test, you can rest easy IF you have a good strategy for knowing what to study and how to effectively use repetition to your advantage.

But it also creates another set of problems.

If you tried to memorize every single possible thing you can for the Series 6 Test, the field of possible things to review would be so huge that you could not hope to cover everything in a reasonable time.

That's why we created the Series 6 Exam Flashcards Study System: we have taken all of the possible topics and reduced them down to the hundreds of concepts you must know and provided an easy-to-use learning method to guarantee success on the Series 6 Test.

We wanted this system to be simple, effective, and fast so that you can succeed on your Series 6 Test with a minimum amount of time spent preparing for it.

Here Are Some of the Features of Our

Series 6 Exam Flashcards Study System

  • Study after study has shown that repetition is the most effective form of learning, and nothing beats flash cards when it comes to making repetitive learning fun and fast
  • Flash cards engage more of your senses in the learning process; you compete with yourself to see if you understand the topics, and the flipping action gets you actively involved in the learning process
  • Our cards are printed on heavy, bright white 67 lb. cover stock, and are laser printed at 1200 dpi on our industrial printers; these are professional-quality cards that will not smear or wear out with heavy usage
  • We cover all the major content areas on the exam
  • Our Series 6 flash cards include an edge that is micro-perforated, which means that you are much less likely to have a painful papercut on your fingers when moving quickly through the cards
  • Our cards are portable, making it easy for you to grab a few and study while waiting for the bus or the doctor, or anywhere where you have a spare moment that would otherwise be wasted
  • Our cards are written in an easy to understand, straightforward style; we don't include any more technical jargon than what you need to pass the test
  • The cards are a generous size, 3.67 x 4.25 inches, that fits perfectly in your hands and they aren't so small that you have to use a magnifying glass to read tiny type; all questions and answers are in a normal-size print for easy studying
  • Our concept cards include in-depth explanations; you won't see any one-word answers that require you to go get a textbook to figure out what's going on. All of our cards include generous, thorough explanations so if you didn't understand the concept, you will after reading the back of the card!
  • We use a font that's been proven to be very readable; this will enable you to absorb more information painlessly during late night study sessions
  • Our system enables you to study in small, digestible bits of information; unlike using boring textbooks, flash cards turn learning into a game you can play until you've mastered the material
  • It's easy for a friend to help you study. They don't even have to know anything about the Series 6 Test; if they can read, then they can quiz you with our Series 6 flash cards!

Now, let us explain what the Series 6 Exam Flashcards Study System is not. It is not a comprehensive review of your education, as there's no way we could fit that onto a single set of flashcards.

Don't get us wrong: we're not saying that memorization alone will automatically result in a passing Series 6 Test score- you have to have the ability to apply it as well. However, without the foundation of the core concepts, you cannot possibly hope to apply the information. After all, you can't apply what you don't know.

Series 6 Exam Flashcards Study System is a compilation of the hundreds of critical concepts you must understand to pass the Series 6 Test . Nothing more, nothing less.

Here's Exactly What You Get With the

Series 6 Exam Flashcards Study System

When you order the Series 6 Exam Flashcards Study System, you'll get our set of flashcards specially selected to give you the most Series 6 Test performance improvement for the least time. This is just a small sampling of the topics covered:

Series 6 Test Topics:

  • Municipal Bonds
  • Industrial Revenue Bonds
  • Taxable and Tax-Exempt Bonds
  • Hedge Funds
  • Indexed Savings Bond
  • Government Fiscal Policy
  • Market Forces of Supply and Demand
  • Currency Exchange Rates
  • Reporting Income from Mutual Funds
  • Reporting Capital Gains
  • The Howie Case
  • Securities and Exchange Commission
  • Exchanges as Taxable Events
  • Statutory Disqualification
  • Registered Securities Associations
  • Insider Trading
  • Rules and Bylaws of FINRA
  • Net Qualifying Dividends
  • Calculating Cost Basis
  • Roth IRA's and Traditional IRA's
  • Retirement and Tax Advantaged Plans
  • Defined Contribution Plans
  • Exchange Markets
  • Securities Markets
  • New Issues Markets
  • Price and Yield Terms
  • Equity Securities
  • Debt Securities
  • Marketable Issues
  • Types of Mutual Fund Fees
  • Fraudulent Interstate Transactions
  • Features of Accumulation
  • Types of Investment Risk
  • Assets and Liabilities
  • Customer Suitability Factors
  • Concepts of Risk and Reward
  • Risk Tolerance
  • Research Departments
  • Investment Act of 1940
  • Fund Characteristics
  • Types of Funds
  • Naked Short Selling
  • Open-End Investment Companies
  • Functions of Investment Advisers
  • Factors in Comparing Funds
  • Functions of Board of Directors
  • Distribution of Securities
  • Fair Dealing with Customers
  • Fund Characteristics
  • Money Market Funds
  • Bank Secrecy Act
  • Variable Annuity Contracts
  • Unit Investment Trust (UIT)
  • Requirements for Record Keeping

Remember, this is just a small sampling of the topics covered in our system. Overall, you get our premium-quality flashcards covering everything you'll need to succeed on the Series 6 Test.

Since we know it's 100% to your benefit to use our flashcards, we want to further encourage you by also including the following with your order:

  • Bonus One

Series 6 Exam Practice Test Questions- Think you're ready for the Series 6 test? Test yourself using our practice test questions. Find out if you're prepared or if you need to head back to the flashcards for another review. Use our practice test questions to make sure that you're not caught off guard on test day!

Our Series 6 practice test questions give you the opportunity to test your knowledge on a set of questions. You can know everything that is going to be covered on the test and it will not do you any good on test day if you have not had a chance to practice. Repetition is a key to success and using practice test questions allows you to reinforce your strengths and improve your weaknesses.

Detailed answer explanations are included for each question. It may sound obvious, but you have to know which questions you missed (and more importantly why you missed them) to be able to avoid making the same mistakes again when you take the real test. That's why our Series 6 practice test questions include answer keys with detailed answer explanations. These in-depth answer explanations will allow you to better understand any questions that were difficult for you or that you needed more help to understand.

  • Bonus Two

    Special Report: The Leitner Method for Maximizing Flashcard Learning: in the 1970's a German psychologist developed a learning system that turned the humble flashcard into an advanced learning technology. His method teaches you to learn faster by playing a simple game with your flashcards, with the help of a few items you probably have around your home. Simple to learn, but incredibly effective, our free report shows you exactly how to use his method in plain, easy-to-understand language.

  • Bonus Three

    Study Secrets: The way to get the test score that you deserve is by proper preparation. That includes knowing both what to study and how to study. Our Series 6 Exam Flashcards Study System will teach you what you need to know, but our Study Secrets bonus will show you HOW to use it to be successful as you prepare for your Series 6 Test. Improving your ability to learn and to learn faster will accelerate your progress as you study for your test. Here is some of what is included:

    • Starting off right by having the proper mindset and intensity
    • Designing a plan, schedule, and goals that will help you target success
    • Working through your preparation plan as you study
    • Recognizing the difference between effective and ineffective studying
    • Understanding how to use resources and identifying key information
    • Being prepared for the unexpected and staying focused on exam day

    Study Secrets teaches you everything you need to know about studying, so that you can maximize the effectiveness of the time you spend in preparation and are guaranteed to get the results you deserve on test day. Study Secrets is an in-depth, comprehensive study manual and is here available completely free along with your regular purchase of a copy of our Series 6 Exam Flashcards Study System.

  • Bonus Four

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  • By the way, these bonuses are yours to keep even in the unlikely event you decide to take advantage of our ironclad money-back guarantee:

    No-Questions-Asked 1-Year Money-Back Guarantee

    We stand behind our offer with a no-questions-asked 1-year guarantee on our products.

    So go ahead and order your copy of the Series 6 Exam Flashcards Study System from this site today. Read them, study them, and profit from them. If you don't think they are helping you prepare for your Series 6 Test, you can return them for a 100% refund of your product price, no questions asked.

    We think that speaks volumes about our confidence in our products. We are also members of the Better Business Bureau.

    If you think there's even the smallest chance that these flashcards will help you, you owe it to yourself to try them out. Don't let fear or doubt stand in the way of what could be your best opportunity to achieve the test score you need to fulfill the dream you deserve.

    What we're saying is, don't decide now if these flashcards are for you . Just get them from this site and try them out. If they don't do everything we say and more, if you don't save money, time and frustration, if they aren't what you thought they were, if they don't work for you, you have nothing to worry about because you can get every dime of your money back under our no-loopholes guarantee. So you have nothing to lose and everything to gain.

    Our belief is simple: either this product helps you or you don't pay. Period. No gimmicks, no asterisks.

    Here's How to Order Your Copy of the

    Series 6 Exam Flashcards Study System

    The Series 6 Exam Flashcards Study System is available at this web page. Your copy will typically ship within one business day from our shipping facility. This package retails for $72.99, but is available today for only $39.99. It's easy to get your flashcards; just click one of the links below:

    If you have any problems or questions, please send an email to [email protected] and we will usually get back to you within 24 hours.

    This Page Last Updated: 01/26/2018

    All content on this website is Copyright © 2017 Mometrix Test Preparation | 3827 Phelan #179, Beaumont, TX 77707

    Disclaimer: Mometrix Test Preparation is not affiliated with or endorsed by any official testing organization. All organizational and test names are trademarks of their respective owners.

    Pass Your Series 6 Licensing Exam With Kaplan

    Kaplan’s securities licensing exam prep packages provide all the necessary tools to help you prepare, practice, and perform on the FINRA ® Series 6 Exam, Investment Company and Variable Contracts Products Representative Examination (IR). We offer a variety of instruction options and exam prep study tools to best suit your learning style and schedule. Choose from our premium live, live online, or OnDemand packages, or prepare on your own with one of our self-study options.

    Click + to learn more about each study package or tool below.

    Our most comprehensive study package, the Premium Instruction Package, includes everything you need to effectively prepare, practice, and perform on your series exam. If you prefer the guidance and interaction from an experienced instructor in a traditional classroom environment, then this package is right for you. Start your exam preparation by building a customizable study calendar to schedule daily tasks based on your study time frame and exam date. Begin preparing for your exam by reading the License Exam Manual one unit at a time to ensure a clear understanding of the key exam topics. Practice in areas of weakness by taking custom quizzes after each unit with the SecuritiesPro™ QBank. Then, test your performance with our realistic Practice and Mastery Exams to measure your readiness for the actual exam. After you have reviewed your study materials, our live class ensures you fully understand key concepts prior to exam day.

    The Premium Live Instruction Study Package Includes:

    • Study Calendar
    • License Exam Manual (LEM) (Print & PDF)
    • Traditional Live Class
    • Class Notes (Print & PDF)
    • SecuritiesPro™ QBank
    • Video Library
    • Checkpoint Exams
    • Midterm Exam
    • Practice Exam
    • Mastery Exam
    • Exam Tips & Content Updates
    • InstructorLink™

    *The online access period for your securities licensing course is 5 months. An additional five months may be purchased at $49. Please call or email our student support center to request this extension.

    Our most comprehensive study package, the Premium Instruction Package, includes everything you need to effectively prepare, practice, and perform on your series exam. This package includes an interactive webcast providing the structure and format of classroom instruction with the convenience of online study. Prepare with a scheduled live class online, and then have access to an archived version of the class to review anytime, anywhere. Start your exam preparation by building a customizable study calendar to schedule daily tasks based on your study time frame and exam date. Begin preparing for your exam by reading the License Exam Manual one unit at a time to ensure a clear understanding of the key exam topics. Practice in areas of weakness by taking custom quizzes after each unit with the SecuritiesPro™ QBank. Then, test your performance with our realistic Practice and Mastery Exams to measure your readiness for the actual exam. After you have reviewed your study materials, our live class ensures you fully understand key concepts prior to exam day.

    The Premium Live Online Instruction Study Package Includes:

    • Study Calendar
    • License Exam Manual (LEM) (Print and PDF)
    • Live Online Class
    • Class Notes (Print and PDF)
    • SecuritiesPro™ QBank
    • Video Library
    • Checkpoint Exams
    • Midterm Exam
    • Practice Exam
    • Mastery Exam
    • Exam Tips & Content Updates
    • InstructorLink™

    *The online access period for your securities licensing course is 5 months. An additional five months may be purchased at $49. Please call or email our student support center to request this extension.

    Our most comprehensive study package, the Premium Instruction Package, includes everything you need to effectively prepare, practice, and perform on your series exam. This package includes a recorded version of our classroom lectures eliminating the constraints of attending scheduled classroom delivery. This choice allows you to prepare with our classroom content at recommended times during your study program, and then provides access to review it at any time you want, and as many times as you want. Start your exam preparation by building a customizable study calendar to schedule daily tasks based on your study time frame and exam date. Begin preparing for your exam by reading the License Exam Manual one unit at a time to ensure a clear understanding of the key exam topics. Practice in areas of weakness by taking custom quizzes after each unit with the SecuritiesPro™ QBank. Finally, test your performance with our realistic Practice and Mastery Exams to measure your readiness for the actual exam.

    The Premium OnDemand Instruction Study Package Includes:

    • Study Calendar
    • License Exam Manual (LEM) (Print and PDF)
    • OnDemand Online Class
    • Class Notes (Print and PDF)
    • SecuritiesPro™ QBank
    • Video Library
    • Checkpoint Exams
    • Midterm Exam
    • Practice Exam
    • Mastery Exam
    • Exam Tips & Content Updates
    • InstructorLink™

    *The online access period for your securities licensing course is 5 months. An additional five months may be purchased at $49. Please call or email our student support center to request this extension.

    The Essential Self-Study Package is an excellent choice if you prefer to prepare, practice, and perform on your own. Planning your exam preparation is made simple with our customizable study calendar that schedules daily tasks based on your study time frame and exam date. Begin preparing for your exam with units in the License Exam Manual for a comprehensive overview covering all aspects of the exam. Practice your test-taking skills and focus on areas of weakness after each unit with quizzes in the SecuritiesPro™ QBank. Use the Video Library for additional clarification on exam topics you may be having trouble understanding. Finally, test your performance with our Practice Exam for a final review before the actual exam.

    • Study Calendar
    • License Exam Manual (LEM) (Print & PDF)
    • SecuritiesPro™ QBank
    • Video Library
    • Checkpoint Exams
    • Midterm Exam
    • Practice Exam
    • Exam Tips & Content Updates

    *The online access period for your securities licensing course is 5 months. An additional five months may be purchased at $49. Please call or email our student support center to request this extension.

    The Basic Self-Study Package provides a strong foundation to effectively prepare, practice, and perform on your series exam. This package is ideal for self-directed individuals who have a proven record of success when studying without the guidance of an instructor. Plan your exam preparation by building a customizable study calendar based on your study time frame and exam date. Begin preparing for your exam with units in the License Exam Manual for a comprehensive overview covering all aspects of the exam. Practice in areas of weakness by taking custom quizzes after each unit with the SecuritiesPro™ QBank. Finally, test your performance with our Practice Exam for a final review before the actual exam.

    • Study Calendar
    • License Exam Manual (LEM) (Print & PDF)
    • SecuritiesPro™ QBank
    • Practice Exam
    • Exam Tips & Content Updates

    *The online access period for your securities licensing course is 5 months. An additional five months may be purchased at $49. Please call or email our student support center to request this extension.

    The Live Class Only option includes:

    This live class serves as a great final review , featuring person-to-person contact and a set schedule in a traditional classroom environment. Prepare for exam day with expert instructors who will walk you through the course content and ensure you fully understand key concepts. We offer our live series exam classes in many convenient locations across the metro area.

    Optimize your time by reviewing your study materials and Best Practices Guide prior to attending class. Ensure your success on exam day!

    Prepare for your exam with these spiral-bound, soft-cover books that highlight important series exam topics. They include the key points addressed in our live classes, allowing you to focus on the instructor without having to worry about taking notes. The notes are grouped by lesson and provide a convenient format for organized review after class has ended.

    The Live Online Class Only option includes:

    This interactive webcast provides the structure and format of classroom instruction with the convenience of online study. The live online class serves as a great final review with full access to expert instructors. Optimize your time by reviewing your study materials and Best Practices Guide prior to attending class. Prepare with a scheduled live class online, and then access an archived version of the class to review anytime, anywhere.

    Prepare for your exam with these spiral-bound, soft-cover books that highlight important series exam topics. They include the key points addressed in our live online classes, allowing you to focus on the instructor without having to worry about taking notes. The notes are grouped by lesson and provide a convenient format for organized review after class has ended.

    The OnDemand Online Class Only option includes:

    This recorded version of our classroom lecture eliminates the constraints of attending scheduled classroom delivery. This choice allows you to prepare with our classroom content at recommended times during your study program, and then provides access to review it at any time you want, and as many times as you want.

    Prepare for your exam with these spiral-bound, soft-cover books that highlight important series exam topics. They include the key points addressed in our OnDemand classes, allowing you to focus on the instructor without having to worry about taking notes. The notes are grouped by lesson and provide a convenient format for organized review after class has ended.

    Practice your test taking skills and test your knowledge with thousands of exam-focused questions and solutions. This interactive QBank allows you to build personalized exams based on length and topic of your choice and features unlimited exam attempts that are randomly generated each time. The Qbank also gives you the ability to:

    • Complete the exams online or print them out to study on the go.
    • Review your performance on previously taken exams.
    • Track time spent on a question and/or exam.
    • Search for specific questions within your QBank.
    • Create personal notes and bookmarks on questions for future reference.
    • Build weighted mock exams to provide a comprehensive test review of all material.

    *The online access period for your Qbank course is 5 months. An additional five months may be purchased at $49. Please call or email our student support center to request this extension.

    This comprehensive textbook is the foundation of your series exam preparation. The text addresses key terms and significant topics, broken down into easily digestible units. Units contain multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your series exam. The text also includes:

    • Unit quizzes
    • Glossary of common terms
    • Appendix with commonly used charts

    Test your performance with an online collection of practice questions built on the most current test topics. Frequently updated to address the latest regulations, this exam may be taken only once and provides a score with diagnostic feedback. It is designed to be an accurate measure of preparedness before your actual exam.

    This exam is designed to closely replicate the true exam experience, both in terms of the degree of difficulty and topical coverage. Validated as a test of preparedness, this exam may be taken only once and provides a score with diagnostic feedback. This exam has a similar weighting and format as the series exams and is timed, scored, and covers a broad range of general knowledge to help you perform your best. It is a sound indicator of how you will perform on your actual series exam. The better you perform on this exam, the more likely you are to pass your actual exam.

    Maximize your study time and refresh your memory with our securities quicksheet. This laminated 8½” x 11” study tool helps you prepare with a quick review of the "must-know" key definitions and concepts on your series exam. QuickSheets are a handy way to study critical exam material without having to page through an entire textbook.

    The Series 6 is a securities license entitling the holder to register as a company's representative and sell mutual funds, variable annuities, and insurance premiums. Holders of the Series 6 license are not permitted to sell corporate or municipal securities, direct participation programs and options. Series 6 may also refer to the exam granting the Series 6 license.

    The Series 6 is a license sought buy professionals in the financial services industry. Common jobs utilizing the Series 6 license include financial advisors, retirement plan specialists, investment advisors and private bankers.

    In order to obtain the Series 6 license, candidates must pass the Investment Company/Variable Contracts Products Limited Representative (Series 6) exam. The Series 6 exam is administered by the Financial Industry Regulatory Authority (FINRA) (formerly the National Association of Securities Dealers (NASD)), and covers topics on mutual funds, variable annuities, securities and tax regulations, retirement plans and insurance products. A passing grade is achieved by correctly answering at least 70 of 100 questions correctly within two hours and 15 minutes.

    The test costs $100. If not passed up to three times, individuals must wait 30 days before taking the exam again. After three consecutive failed attempts, candidates must wait 180 days before taking the exam again. Candidates must be sponsored by a member of FINRA or a self-regulatory organization (SRO) in order to take the exam. Upon receiving a passing grade, candidates must then register with FINRA through their sponsoring firm in order to transact authorized securities. Holders of the Series 6 are considered limited representatives of their sponsoring firm. As a limited representative they can sell mutual funds, variable annuities and insurance premiums.

    As outlined by FINRA in 2017, the Series 6 exam covers four specific sections:

    • Regulatory fundamentals and business development
    • Ability to evaluate customers’ financial information, identify investment objectives, provide information and make suitable recommendations
    • Ability to open, maintain, transfer and close accounts, and retain appropriate account records
    • Ability to obtain, verify and confirm customer purchase and sale instructions

    The test follows a ‘bell curve’ shape in difficulty, starting out relatively simple, becoming difficult in the middle, and then progressively getting easier again.

    Series 6 Functions Explained

    Section 1 requires the examinee to have knowledge of the following:

    • General industry regulations, including SEC, SRO and state requirements
    • Registration, qualification, continuing education and termination of employment of associated persons
    • Permitted activities for registered and non-registered associated persons
    • Product definitions and classifications
    • Required approvals and content standards of public communications: retail communications, institutional communications, correspondence, research reports, telephone solicitations
    • Appropriate use of professional designations
    • Definition of regulated investment company by the Internal Revenue Code
    • “Conduit” or “pipeline” theory, required distribution of income and realized capital gains
    • “Do-not-call” lists and other telemarketing requirements
    • Content and delivery of prospectuses, Statement of Additional Information (SAI), and other offering documents
    • Networking arrangements
    • Regulations related to marketing and prospecting
    • Initial privacy disclosures to customers
    • Definitions of retail communications, institutional communications and correspondence, including categorization of public appearances, seminars and related sales literature and advertising
    • Regulations regarding communications with the public
    • Standards and approval of communications

    Section 2 requires the examinee to have knowledge of the following:

    • Essential facts regarding customers and customer relationships
    • The financial and personal profiles of customers including age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs and risk tolerance
    • Reasonable-basis suitability, customer-specific suitability and quantitative suitability
    • Investment strategies and recommendations to hold
    • Investment profile and strategies
    • Types of investment returns, for example, dividends, capital gains, return of capital
    • Securities markets, including exchange markets, over-the-counter (OTC)/negotiated markets and new issue markets
    • Fair dealings with customers and appropriate business conduct
    • FINRA’s cash and non-cash compensation regulations
    • Insider trading and prohibited activities
    • Capitalization, pricing, secondary market trading and redeemability​
    • Types of underlying securities
    • Other investment types, including but not limited to: exchange traded funds (ETFs) and hedge funds
    • Variable annuities, deferred variable annuities and variable life insurance policies
    • Tax considerations
    • Definitions, characteristics and concepts of products, types of accounts and plans
    • Price and yield terms, for example, bid, ask, NAV, premium and par
    • Tax treatment, contributions, accumulation, withdrawals, account ownership, beneficiaries, benefits, required minimum distributions, and rollovers and transfers
    • Retirement and tax advantaged plans
    • Open-end investment company
    • Mutual fund
    • Variable annuity and variable life insurance
    • Unit Investment Trust (UIT)
    • Closed-end fund
    • Investment risk factors for credit, currency, inflation, interest rates, liquidity, market risk, social and political risk, reinvestment and market timing
    • Concept of risk/reward and the effects of diversification
    • Types of investment strategies
    • Sources of market and investment information. For example, news outlets, internet, rating agencies and research reports
    • Economic factors such as inflation, deflation, monetary policy and economic policy
    • The role of the Federal Reserve Board
    • Changing interest rates and the effect on money supply, fiscal policy, federal taxation and spending
    • International economic factors. For example, currency exchange rates, balance of trade and gross domestic product

    Section 3 requires the examinee to have knowledge of the following:

    • Account registration types, for example individual, JTWROS​ and UGMA​
    • Distribution elections including cash and reinvestment
    • Customer screening like the Customer Identification Program (CIP) and determining whether a customer is an associated person of another broker-dealer
    • Account authorizations and legal documents including power of attorney, authorized account user, discretionary accounts, Transfer on Death (TOD) and beneficiary forms
    • Recordkeeping
    • Customer account record maintenance
    • Transferring customer accounts between broker-dealers
    • Account registration changes and internal transfers
    • Delivery of annual reports and notices of corporate actions, for example, proxy statements
    • Anti-Money Laundering (AML) compliance procedures, program and reporting
    • Circumstances for notifying FinCEN​ or refusing or restricting activity in an account and/or closing accounts

    Section 4 requires the examinee to have knowledge of the following:

    • Cash accounts
    • Market terms including trade date, settlement date and ex-dividend date
    • Delivery requirements and settlement of transactions
    • Trade execution activities including market timing, late trading, prompt payment for securities purchased, extension of time, frozen accounts and prohibition on arranging loans for others
    • Information required on an order ticket
    • Sharing of referral fees and commissions
    • Confirmations and account statements
    • Customer complaint procedures
    • Arbitration procedures
    • Investigations and sanctions

    Maintaining the Series 6 License

    To keep the Series 6 license, licensees must fulfill continuing education requirements and be sponsored by a FINRA registered company. Details about continuing education can be found here: FINRA continuing education.

    FINRA’s continuing education program includes two elements: a regulatory element and a firm element. FINRA requires licensees to complete a computer-based training session within 120 days after there second anniversary of registration. FINRA also requires the computer-based training session every three years thereafter.

    The firm element requires broker-dealers to establish and maintain a continuing education program. (See also Keeping Up with Your Continuing Education.)

    Series 6 Exam Secrets Study Guide

    Includes Series 6 Practice Test Questions

    How to Pass the Investment Company Products/Variable Contracts Limited Representative Qualification Exam, using our easy step-by-step Series 6 Test study guide, without weeks and months of endless studying.

    If you are interested in a different Series test, we've developed study guides for most of the FINRA Exam series.

    On a beautiful late spring afternoon, this past year, a young man received the devastating news. He had just gotten back his result on the Series 6 Test. It was not what he had hoped for. In fact, it was not even close to the expectations he had considering his past experience and educational background.

    Then he remembered his friends and felt even worse. He did not look forward to having to tell them the embarrassing news, especially after he had boasted that it was no big deal. He had been procrastinating about taking the exam because he hated standardized tests, and this only confirmed his hatred.

    "What will I do now?" he thought with dismay, slowly realizing the harsh reality of his predicament and its upsetting implications on his future.

    Unfortunately, this hypothetical situation occurs all the time. Someone thought they were going to breeze through the examination, told all their friends, made plans for their future, and then got an embarrassing reality check from the Series 6 Test.

    The Investment Company Products/Variable Contracts Limited Representative Qualification Exam is quite simply an objective assessment of a test taker's requisite foundation of knowledge and skills.

    Series 6 Test scores are used by the Financial Industry Regulatory Authority (FINRA) as a uniform standard of qualification. While it may not be fair, all of a person's plans for the future may be dependent upon needing a certain Series 6 Test score.

    That is the whole purpose of the Series 6 Exam Secrets study guide: to give test takers the keys to understand how to succeed on the Series 6 Test.

    Our Study Guide for the Series 6 Test Is Unlike Any Other

    If you'd like to get the Series 6 Test score you deserve, to quit worrying about whether your score on the Series 6 Test is "good enough," and to beat the test taking game so you can become a Registered Representative (RR), then this might be the most important message you read this year.

    Our comprehensive study guide for the Series 6 Test is written by our test experts, who painstakingly researched the topics and the concepts that you need to know to do your best on the Series 6 Test. Our original research into the Investment Company Products/Variable Contracts Limited Representative Qualification Exam, offered by the Financial Industry Regulatory Authority (FINRA), reveals the specific content areas and the essential skills that are critical for you to know on the Series 6 Test. We've taken the information and developed a study guide that is guaranteed to help you be successful on the Series 6 Test.

    Now, we know you may be skeptical, so let us give you three good reasons we can back up what we claim:

    The Three Reasons To Believe What We Say

    The First Reason:

    Our company's name is Mometrix Test Preparation, and we have a team of standardized test researchers who have worked on developing our study guide for the Series 6 Test. The standards for who gets to work on the team are very strict- we demand the best for our customers, and only those who met our exacting standards made the cut. The dedicated research staff have years of combined experience in mastering the content and skills necessary to succeed on the toughest exams.

    The Second Reason:

    Some academic studies have revealed that test takers do not really benefit from the traditional test preparation process. But we knew there had to be a solution- if test takers were not doing well on the Series 6 Test despite high intelligence, there had to be a set of secret keys to the test that would open the door of success for these test takers.

    We believe we have succeeded in finding the secret keys of the exam. What we found was surprising, and in some cases ridiculously simple once explained to the average test taker.

    We put the findings together in a thorough, concise study guide that we believe allows any test taker, at any skill level, to improve his or her results dramatically with a minimum of effort.

    The Third Reason:

    We created the product in part because we were frustrated by the options available to test takers who really wanted to do well on the Series 6 Test.

    A common approach is to TEACH the material, instead of TEACHING THE TEST. That's not necessarily good enough for the Series 6 Test- you have to know how to apply the knowledge. Most test takers already have a general knowledge of the material that will be covered on the exam.

    One reason some test takers do well on the day of the test is that they have made the critical connection between the material they learned and how to use the material to succeed on the Series 6 Test.

    Our guide addresses the difference between merely knowing the material and knowing how to use the material to perform on test day .

    You're going to save time, money, and aggravation. You'll learn to avoid the mistakes and the bad strategies that you've been vulnerable to. Just for starters, here are some ways our product can help your score on the Series 6 Test.

    The Exclusive Test Taking Techniques

    • Explains how the Series 6 Test time limits are the #1 enemy of most test takers, and what you can do about it- You avoid falling into the many "time traps" built into the test, giving you an immeasurable advantage over those who go into the test unaware
    • Shows you super speed methods to get through the questions you know with ease- Saving you time so you concentrate on the hardest questions without rushing
    • Get quick, customized help for the questions you have about how to use our materials- just send us a quick email and we'll get back to you promptly with the answer.
    • Keys to questions that "give away" the wrong (or right) answers- You get credit for some of the questions without really even knowing anything about them
    • Details the EXACT STUDY PLAN for the Series 6 Test that we believe gives the most results in the least time- No matter if you're studying for a week or a month, you won't waste the precious study time you have on useless activities
    • Our researchers are more than just academic theoreticians who understand the technical nature of standardized tests, but are also experts on test taking itself- they reveal the exact skills and the information you'll need to perform under pressure during the test.
    • A systematic analysis and the best breakdown into "plain language" of how to deconstruct and master complex problems- You turn the problems that most of the test takers will stumble over to your advantage
    • Learn why, when, and how to guess to your advantage. Many test takers use exactly the wrong strategy, but you can avoid the pitfalls with the help of our standardized test experts
    • The secret keys that "gives away" the right answer a lot of the time- You know the special "flags9quot; and the specific "giveaways9quot; to look for
    • Includes instructions detailing the best way for you to get started with your preparation efforts so you can begin the path of improving your scores immediately
    • The most efficient and accurate method for picking the right answer- You won't be scratching your head trying to read the mind of the test question writer, but will instead know exactly what to look for to pick the best answer
    • Our quick problem solving method for difficult problems- You speed right through these notorious time-wasters
    • Courteous, unlimited customer service is 100% free- if you need the product emailed to a different address, lose the product, or have any other difficulty- the help you need is just a short email away and our representatives are active 7 days a week helping customers
    • The research of our team of test experts is 100% independent and original
    • Our exclusive "calibration strategy" to help you never go too fast OR too slow when answering even the toughest questions
    • The 5-step process we've developed, what we call the "phased9quot; approach, concerning the use of the various study aids and practice tests
    • How the problem of procrastination can kill your chance of success, and the most important thing you can do about it
    • How to know when you've studied as much as you need to for the exam- and the reason why we think some people should spend LESS time studying for the test
    • The Top 20 things you should take care of within 24 hours of taking the test- use the list we provide as a checklist to make sure you've taken care of the "little things" in addition to studying hard
    • How to predict the right answer before you see the answer choices- and how to prevent the wrong answers from "polluting9quot; your mind and tempting you into a trap designed by the test writers
    • Why answers that "sound9quot; correct are often the very ones that are wrong- and how to tell the difference between the right answer and the many clever-sounding traps set for you by the test writers
    • Our "benchmark9quot; method for deciding which of the answer choices you should pick
    • How some of the random bits of information in a question often "give away" the right answer choice
    • How to "milk the question" for clues to the right answer even if you have no idea what the question is asking about
    • How to avoid panicking when you don't know the answer to a question- we offer a systematic method that will serve as the "lifeline9quot; you need to minimize the time wasted on the test questions that leave you stumped
    • What to do about the tough questions that you have no clue how to answer- don't just give up, use the advice we offer to make sure you give yourself the best chance of getting the right answer
    • How to use our brainstorming method to get "inside the question" and reveal the hard-to-find clues and some of the subtle things you didn't realize you knew
    • Do you know what a "hedge phrase" is? Learn why looking for the key "weasel words" in the question can help identify the correct answer
    • Why "new information" in the answer choices almost always means that the answer choice is wrong- and the way to avoid this trick planted by the clever test writers
    • Learn to avoid this time-draining mistake on the test - why the technical terms you don't know can be a major stumbling block and waste precious time, and the way that you can work around them
    • The secret to using the contextual clues in the questions and the answer choices to make important distinctions between the right and the wrong answer choices
    • The two situations where you should NOT check your answers thoroughly
    • How to avoid careless mistakes by using the quick "double check" system. It will more than pay for itself relative to the time it will take you
    • Test writers will often quote directly from the question in an answer- learn whether this is something you should trust or avoid
    • Why "extreme statements" in the answer choices are dead giveaways for wrong answers- find out how to detect the subtle differences between reasonable answers and the answers that are almost always wrong
    • Learn how to group your answer choices into "families9quot; that often narrows down the pool of correct answers- this is a quick way to immediately eliminate one or two of the answer choices and increase your odds of getting the question right

    Now, you're probably wondering how and why we can do all the things we claim.

    Before we go any further, let us clarify what Series 6 Exam Secrets is not. It is not a stale rehash of all of the things you have already learned in the past.

    Series 6 Exam Secrets is our exclusive collection of the tips and the information that we have specially selected to give you the best results on the Series 6 Test for the least time spent studying. It's written in everyday language and is easy to use.

    We cover the 5 essential skills necessary to do well on the Series 6 Test, plus a comprehensive review covering your Series 6 Test.

    Listen to what our customers say about other Mometrix test preparation products.

    I purchased the Secrets file, and I just wanted to let you know that I got a 99% on my test. I just want to thank you again, and hope you have continued success in your ventures. Sincerely, Paul L.

    My name is Chris. I used the Secrets study guide for five days. The study guide made the test so easy to understand. Like you said this program is worth 100's of dollars. To me 1,000's!! THANKS, Chris G.

    I just had to thank you guys for the test prep! I bought the guide as a last minute prep, I mean maybe 5 hours before the test. Like I said, I had ZERO preparation! I was nervous about the test let alone receiving the score I needed. I read the guide through only once before test time and needless to say, the only way I passed was thanks to your refresher!! Brian

    Just dropping you a note to let you know that I am completely satisfied with the product. I had already taken the test once and landed in the 75 percentile of those taking it with me. I took the test a second time and used some of your tips and raised my score to the 97 percentile. Thanks for my much improved score. Denise W.

    I heard about your website from a friend. I am enrolled in a review course, and in hindsight, I wish I wouldn't have taken my review course and instead spent a fraction of the money on your program. Thank you! Zac L.

    Warning: Always Look for These 6 Criteria

    There is a lot of confusion surrounding studying for the Series 6 Test, and standardized tests in general. In our opinion, these are the 6 criteria you should always look for in a study guide for the Series 6 Test:

    One: The guide must be written by writers who have painstakingly researched the topics and concepts needed to succeed on the Series 6 Test. The blind cannot hope to lead the blind.

    Two: The guide must be written in easy-to-use everyday language so all test takers can access the information.

    Three: The guide must be to-the-point, with no fluff to distract the test taker from the truly important information.

    Four: The guide must address the test first, the material second. If the material was the only thing that was important, then every test taker that understood the material should get a perfect score- that doesn't happen because there's a difference between simply knowing what's on the test and the way you perform on the test. You want a study guide to close that gap.

    Five: The guide must motivate the test taker to actually study for the exam. If the guide is hard to read, the time spent studying will be slow and painful, and the results will be meager.

    Six: The guide must be guaranteed- if you don't pass with flying colors, you get your money back- no questions asked.

    You get at least 10 times your money's worth!

    When you consider what's at stake with the exam, we believe the value of our study guide gives you at least ten times your money's worth.

    In summary, here's what you get:

    When you buy Series 6 Exam Secrets, it includes-

    The 5 Secret Keys to Series 6 Test Success:

    • Time is Your Greatest Enemy
    • Guessing is Not Guesswork
    • Practice Smarter, Not Harder
    • Prepare, Don't Procrastinate
    • Test Yourself

    The comprehensive General Strategy review including:

    • Make Predictions
    • Answer the Question
    • Benchmark
    • Valid Information
    • Avoid "Fact Traps"
    • Milk the Question
    • The Trap of Familiarity
    • Eliminate Answers
    • Tough Questions
    • Brainstorm
    • Read Carefully
    • Face Value
    • Prefixes
    • Hedge Phrases
    • Switchback Words
    • New Information
    • Time Management
    • Contextual Clues
    • Don't Panic
    • Pace Yourself
    • Answer Selection
    • Check Your Work
    • Beware of Directly Quoted Answers
    • Slang
    • Extreme Statements
    • Answer Choice Families

    The comprehensive content review including:

    • Equity Securities
    • Limited Liability
    • Securities Act of 1933
    • Bond Prices
    • Pass-through Certificate
    • Treasury Receipts
    • Call Protection
    • Insider Trading Act of 1988
    • Private Securities Transaction
    • Underwriters
    • Gross Domestic Product
    • Call and Put
    • Howey Decision
    • Risk Tolerance
    • Common Stock
    • Breakpoint
    • Letter of Intent
    • Call Risk
    • Rule 135
    • Growth-oriented Securities
    • Dividend
    • Uniform Practice Code
    • Rule 506
    • Maloney Act
    • Money Market Security
    • Open-ended Funds
    • Nominal Yield
    • 12B-1 Fees
    • Best Efforts Commitment
    • Cash Settlement
    • Secondary Market
    • Fully Registered
    • Tombstone Ad
    • Preemptive Right
    • Securities Exchange Act of 1934
    • Preferred Stock
    • T-bills
    • Bond Funds
    • American Depository Receipt
    • Market Maker
    • NASDAQ
    • Free-look Period
    • Subordinated Debenture
    • Discount Rate
    • Rule 501
    • FINRA Rules
    • Code of Arbitration
    • Fiscal Policy
    • Bond Issuers
    • Trust Indenture Act of 1939
    • Maturity vs. Redemption
    • Bond Quote
    • Settlement Options

    plus all of the other special tips and secrets we have included to help you prepare for the exam.

    Since we know it's 100% to your benefit to use our study guide, we want to further encourage you by also including the following with your order:

    • Bonus One

    Series 6 Exam Practice Test Questions- Think you're ready for the Series 6 test? Test yourself using our practice test questions. Find out if you're prepared or if you need to head back to the study guide for another review. Use our practice test questions to make sure that you're not caught off guard on the day of the test!

    Our Series 6 practice test questions give you the opportunity to test your knowledge on a set of questions. You can know everything that is going to be covered on the test and it will not do you any good on the day of the test if you have not had a chance to practice. Repetition is the key to success and using the practice test questions allows you to reinforce the strengths you already have, while improving the weaknesses that you need to overcome.

    Detailed answer explanations are included for the questions. It may sound obvious, but you have to know which questions you missed (and more importantly why you missed the question) to be able to avoid making the same mistakes again when you take the real test. That's why the practice test questions we include for the Series 6 test include answer keys with detailed answer explanations to each question. The in-depth answer explanations will allow you to better understand the questions that were difficult for you or that you needed more help to understand.

  • Bonus Two

    Study Secrets- The way to get the test score that you deserve is by proper preparation. The best preparation includes both knowing what to study and how to study. Our Series 6 Exam Secrets study guide will teach you what you need to know, but our Study Secrets bonus will show you HOW to use the information to be successful on the Series 6 Test. The ability to learn faster will accelerate the progress you make as you study for the test. Here is some of what is included in the bonus:

    • Starting off right by having the proper mindset and intensity
    • Designing the right plan and the right schedule to help you stay focused
    • Creating the right goals that will help you target the success you deserve on the test
    • Working through your preparation plan as you study
    • Recognizing the difference between effective and ineffective studying
    • Understanding how to use the resources you have available and identifying the key information you need to succeed
    • Being prepared for the unexpected and staying focused on the day of the exam

    Study Secrets teaches you everything you need to know about studying, so that you can maximize the effectiveness of the time you spend in preparation; the techniques provided are guaranteed to get you the results you deserve on the day of the test. Study Secrets is the most in-depth, comprehensive study manual available and is completely free with the purchase of Series 6 Exam Secrets.

  • Bonus Three

    How to Overcome Test Anxiety- Do you get really nervous the day before important tests? If so, you could be suffering from a mild form of what's known as "test anxiety." The report we include gives you some of the latest important research into test anxiety, including our exclusive tips on how to make the test-taking experience as stress-free as possible while maximizing the score potential you have.

  • By the way, the bonuses are yours to keep even in the unlikely event you decide to take advantage of our ironclad money-back guarantee:

    ironclad, moneyback guarantee

    We insist that you order Series 6 Exam Secrets entirely at our risk. That's why when you order from this site it comes with a Risk-Free, 1-year 100% Money-Back Guarantee. There's absolutely NO RISK on your part. Why are we going to such great lengths?

    Even though we are absolutely confident in the quality of our study manual and its ability to help you get the results you deserve, we want to completely eliminate the possibility of any remaining doubts or concerns.

    So go ahead and order your copy of Series 6 Exam Secrets today. Take the time to read it, use it, and profit from it. If you use any one of our secrets, and somehow fail to recoup your small investment in the form of the test result you want - send us an email at [email protected] to arrange a 100% refund of the product price.

    Now let us take the guarantee one step further. If you don't like this exclusive book for ANY reason, you can return it for a 100% refund of the product price. And remember, this is a 1 year guarantee. You're free to return it at any time, for any reason, up to one year after the purchase date- no hassle, no questions asked.

    We understand that it may be hard for you to believe that this sort of information really exists- something that is unconditionally guaranteed to work or your money back, and is being offered at such a low price. If you don't mind, let us speak from the heart and we'll let you in on one of our main motivations:

    We're sick and tired of good people losing opportunities because of the score they get on a test.

    A good test score opens doors- and when the door doesn't open, dreams and ambitions die, and we think that's a horrible thing.

    If you think there's even the smallest chance that this material will help you, you owe it to yourself to try out our product. Don't let fear or doubt stand in the way of what could be the best opportunity you have to achieve the test score you need to fulfill the dream you deserve.

    What we're saying is, don't decide now if the product is for you . Just get it and try it out. If it doesn't do everything we say and more, if you don't save time, money, and frustration, if it isn't what you thought it was, if it doesn't work for you, you have nothing to worry about when you order from this site because you can get every dime of your money back under the no-loopholes guarantee. So you have nothing to lose and everything to gain.

    Get the Series 6 Exam Secrets Study Guide

    Here's how to order right now!

    Series 6 Exam Secrets can be ordered directly from this site. A printed copy will typically ship within one business day from our shipping facility.

    Or, if you prefer, you can order the study guide as an instantly downloadable ebook. It doesn't require any special software- if you can read this web page, you have all you need to start using and applying Series 6 Exam Secrets in just five minutes. You don't have to wait for anything to come in the mail. Download Series 6 Exam Secrets immediately!

    Both versions are the same price and contain the same information- if you need instant access and are comfortable with ebooks, order the ebook. If you would prefer the physical book and can wait for the product to arrive in the mail, order the printed book.

    It's easy to order your copy of Series 6 Exam Secrets. The entire comprehensive package retails for $89.99, but is available to you today at the incredibly low price of $49.99. Just click one of the links below.

    If you have any problems or questions, please send an email to [email protected] and we will be sure to get it working for you.

    If you would like torrisonmedia.com and we will be sure to get it working for you.

    This Page Last Updated: 10/06/2017

    All content on this website is Copyright © 2017 Mometrix Test Preparation | 3827 Phelan #179, Beaumont, TX 77707

    Disclaimer: Mometrix Test Preparation is not affiliated with or endorsed by any official testing organization. All organizational and test names are trademarks of their respective owners.

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